The Emergence of Ornaments and Art-An Archaeological Perspective On The Origins of Behavioral Modernity João

The Emergence of Ornaments and Art: An Archaeological Perspective on the Origins of
"Behavioral Modernity"
Author(s): João Zilhão
Source: Journal of Archaeological Research, Vol. 15, No. 1 (March 2007), pp. 1-54
Published by: Springer
Stable URL: http://www.jstor.org/stable/41053233
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J Archaeol Res (2007) 15:1-54
DOI 10.1007/S10814-006-9008-1
ORIGINAL PAPER ~~~~
The Emergence of Ornaments and Art:

An Archaeological Perspective on the
Origins of "Behavioral Modernity"
João Zilhão
Published online: 30 January 2007

€> Springer Science-f Business Media, LLC 2007
Abstract The earliest known personal ornaments come from the Middle Stone Age of
southern Africa, c. 75,000 years ago, and are associated with anatomically modern hu-
mans. In Europe, such items are not recorded until after 45,000 radiocarbon years ago, in
Neandertal-associated contexts that significantly predate the earliest evidence, archaeolog-
ical or paleontológica!, for the immigration of modern humans; thus, they represent either
independent invention or acquisition of the concept by long-distance diffusion, implying
in both cases comparable levels of cognitive capability and performance. The emergence
of figurative art postdates c. 32,000 radiocarbon years ago, several millennia after the time
of Neandertal/modern human contact. These temporal patterns suggest that the emergence
of "behavioral modernity" was triggered by demographic and social processes and is not a
species-specific phenomenon; a corollary of these conclusions is that the corresponding ge-
netic and cognitive basis must have been present in the genus Homo before the evolutionary
split between the Neandertal and modern human lineages.
Keywords Art • Modern humans • Neandertals • Ornaments
Introduction
Over the last quarter century, it has become clear that the ancestry of present-day human
populations can be traced back to African people of the late Middle Pleistocene. In this con-
text, the long-lasting geographical segregation between Neandertals and African "moderns"
and the ultimate replacement of the former by the latter have led many scholars to accept
the notion that the two taxa should be given species status. This view has been challenged
in recent years, especially by the finding of early European modern human fossils bearing
archaic traits, which suggests extensive admixture with Neandertals at the time of contact
(Trinkaus, 2005). This suggestion is consistent with recent genetic studies of the nuclear
J. Zilhão (M)
Department of Archaeology and Anthropology, University of Bristol,
43 Woodland Road, Bristol BS8 1UU, United Kingdom
e-mail: Joao.Zilhao@bristol.ac.uk
±¿ Springer
2 J Archaeol Res (2007) 15: 1-54
genome of living populations, whic

Eurasian (in
p particular, east Asian)
of years before the mid-Late Plei
(Templeton, 2002, 2005).
Given that hybridization between
in general and primates in particula
however, that significant biologica
between Neandertals and modern
species must differ in behavior as
that evidence also does not suffic
differences, with attendant cognit
from coeval "archaic" humans. In
speculations that certain features o
archaeological record of the Midd
emerged as a by-product of the bio
sapiens (Klein, 1998, 2003; Mellar
is that the absence of those featur
and that it
acquisi is only after the
corresponding behavioral correlat
At the empirical level, this appro
time of the transition from the Mi
package of cultural traits appearing
Neandertals were replaced by moder
ment, and lithic technology used to
of the Upper Paleolithic (for inst
wide consensus seems to have been
the reliance on blade technology or
be found at different times and pl
association with "archaic" human
2004; Marean and Kim, 1998; Révi
evidence for carefully shaped bon
known to come from the Middle S
Paleolithic of Europe (Henshilwoo
In this context, Henshilwood and
for a modern human behavior differ
the designation of "fully symbolic
manifest itself "when artifacts or fe
for example, personal ornaments,
maker." In this review, I use Hensh
in space and time of the earliest ev
and the extent to which the human
were biologically "modern" or "ar
that have
been proposed for the fa
unquestionably anatomically "non
In the following, calendar dates d
by thermoluminescence (TL), elect
(U-Th) methods are given in years
expressed in years or thousands o
theproduction of atmospheric 14C
îâ Springer
J Archaeol Res (2007) 15:1-54 3
preliminary calibration possible,

radiocarbon underestimates true c
2005; Hughen et al, 2004; Shackle
relative ordering of the events is n
issues within reasonable limits, on
BP interval.
Temporal and geographical patterns
Africa
As shown by different authors (Barham, 2002a, b; Henshilwood et al, 2001; McBrearty and
Brooks, 2000; Villa et al, 2005), many of the innovations traditionally associated with the
European Upper Paleolithic are now known to appear significantly earlier in Africa. This is
the case in particular with bone tools (such as the harpoons from Katanda, Congo, and the
awls from Biombos, South Africa), but it also applies to such features of lithic technology as
the manufacture of geometries (the lunates of the South African Howieson's Poort industry)
and the production of bladelets from prismatic cores (documented in level RSP of the Sibudu
rocksheiter, South Africa). Enough reliable dating evidence is now available to place these
developments before c. 50 ka BP and, in some cases, even before c. 70 ka BP. However,
these innovations did not form a package of co-occurring traits and did not become a stable
feature of human culture once they appeared. Instead, for many thousands of years thereafter,
they were abandoned as piecemeal and suddenly as they were first introduced, and the same
applies to ornaments and abstract markings.
Where the latter are concerned, the key evidence comes from the seaside cave site of
Biombos, southern Cape (d'Errico et al, 2003a, 2005; Henshilwood et al, 2002, 2004). This
site features a sequence where the uppermost MSA level (Ml ) belongs to the Still Bay culture,
characterized by foliate points, and is separated from the surficial Late Stone Age (LSA)
deposits by a thick sterile sand dune. This stratigraphie configuration precludes contamination
from overlying, later occupations as an explanation for the presence of personal ornaments
and decorated pieces of ochre in level Ml , dated to 74.9 ± 3.8 ka BP by optically stimulated
luminescence (OSL), and to 74 ± 5 ka BP by TL (Tribolo et al, 2005). The number of
utilized pieces of ochre is in excess of 8000, and two of them, in the shape of crayons, bear
unequivocal abstract designs (engraved cross-hatched motifs) on one of the facets. Level
Ml also yielded personal ornaments, all perforated shells of the marine mollusk Nassarius
kraussianus (Fig. 1). Forty-one such items have been described so far; all were found in
clusters of 2-17 beads showing similar size, color, wear, and perforation type, suggesting
that each cluster may correspond to a single beadwork item.
In the South African culture-stratigraphic scheme, the Still Bay is replaced by the
Howieson's Poort industry, which Tribolo et al (2005) TL-dated to 56 i 3 ka BP at
Klasies River Mouth (southern Cape) and to 55-65 ka BP at Diepkloof (western Cape).
These results are consistent with the AAR (amino acid racemization) and ESR ages in the
c. 60-70 ka BP interval obtained for the corresponding levels of the Border Cave sequence,
northern Kwazulu-Natal, by Miller et al (1999), Grün and Beaumont (2001), and Grün
et al (2003). The latter also discuss (and reject) the possibility that the securely provenanced
human remains found in this cave - the near complete infant skeleton BC3, and the largely
complete lower jaw BC5 - could represent intrusions of later Pleistocene or even Holocene
age. Indeed, direct ESR dating of an enamel fragment from BC5 yielded a result of 74 i 5 ka
±ì Springer
4 J Archaeol Res (2007) 15: 1-54
Fig. 1 African personal ornaments: (a) m

from MSA level Ml of Biombos (after Hen
MSA site of Loiyangalani (after Hathaway,
the Early Ahmarian of the Near East: (d-
(after Kuhn et al., 2001, modified)
BP, which is consistent with simila

evidence in turn strengthens the hy
to have been entirely cut into the un
an ash horizon at the very base of
stratigraphie position and accompan
burial was broadly contemporary w
Conus bairstowi sea shell was repo
beena bead worn by the dead infan
dimension to the use of personal orn
For the next 30,000 years, howev
Poort or post-Howieson's Poort, lat
up again only in eastern Africa, wh
ostrich eggshell beads in an early
directly dated to c. 37-40 ka 14C
review of the African evidence m
statistically identical (in the range
LSA context, as is also the case at th
Loiyangalani (Hathaway, 2004). An o
burial pit containing skeleton la fr
charcoal to c. 38 ka 14C BP (Verm
coast, which could explain the absen
least where Boomplaas is concerned
which separates Border Cave from t
perforated marine shells were in us
c. 40 ka BP; thus, changes through t
preferences also may have been inv
^ Springer
J Archaeol Res (2007) 15: 1-54 5
In a secure Howieson's Poort cont

abstract markings on small fragment
flasks. They noted that, although t
ones were clearly intentional and, i
designs made on the Biombos ochr
suggestive of intentional marking t
In Africa, the earliest figurative a
Apollo 11 Cave in Namibia (Vogel
Wendt, these hand-sized slabs are n
art. Their diverse geological nature
although similar slabs can be found
representations occupy the center o
cases, traces of color also could be o
On three of the slabs, such figures c
a zebra, and a large animal, probabl
The site features an approximately
recovered toward the upper part
interface between the latest MSA and the earliest LSA level. Conventional radiocarbon
results for associated charcoal samples date these slabs to c. 26-28 ka 14C BP, with the
Pta-1040 result (26,300 ± 400 BP) - obtained on a single large piece of carbonized wood -
representing in all likelihood the best approximation of their chronology. In any case, the
stratigraphie consistency of the series leaves no doubt that the slabs date to between c. 18
and c. 34 ka 14C BP [only sample Pta-1032 is anomalous, probably due to the incorporation
of younger material brought down by rodents nesting in adjacent sediments (Wendt, 1974,
p. 36)].
McBrearty and Brooks (2000) remark that the dates are anomalously young for an MSA
context and argue that the Apollo 11 art is significantly older based on the 59 ka BP
ostrich eggshell AAR age obtained by Miller et al. (1999) for the site's MSA deposits, in
agreement with a direct AMS radiocarbon date of >41 ka 14C BP for a single ostrich eggshell
fragment. As Miller et al. caution, however, this apparent discrepancy does not invalidate the
radiocarbon chronology, because the ostrich eggshell samples they analyzed were collected
in deposits from the mouth of the cave, where the MSA sequence may be abbreviated by
comparison to that observed in the area further inside from where the slabs came. Moreover,
as Miller et al. 's dating work also shows, individually dated eggshell fragments moved up
and down the sequence as a result of intensive human occupation combined with very slow
sedimentation rates (~2 cm/millennium); thus, they cannot be relied on as a tool to date, by
association, the different archaeological levels. Finally, the radiocarbon results obtained for
the immediate context of the painted slabs are not "unexpectedly young"; in the region, the
MSA lasts until c. 20 ka 14C BP (Deacon and Deacon, 1999), and the "anomaly" diagnosed
by McBrearty and Brooks (2000) most likely resides in their expectations, not in any real
problems with the dating of the site.
The only securely provenanced human remains from this time range in southern Africa are
those recovered from the SAS member of Klasies River Mouth, dated to c. 1 00 ka BP. Their
taxonomic affinities are controversial. As Trinkaus (2005) sums up, the problem is that the
dearth of comparable material precludes adequate assessment of whether the Klasies River
Mouth remains are "modern" or simply a southern African equivalent of late archaic humans,
antedating the dispersal into the region of the anatomically "modern" populations that had
differentiated in eastern Africa during the later Middle Pleistocene. The more complete
Border Cave material, however, compares well with the present-day San (Rightmire, 1984).
±¿ Springer
6 J Archaeol Res (2007) 15: 1-54
Fig. 2 Top: slab from the late MSA levels of A

Bottom: stratigraphie sequence in the 1972 exten
the radiocarbon samples collected in this extensi
corresponds to a single, large piece of wood char
in situ during its excavation (black filled contou
4 = layer E of the main trench (Latest MSA) (aft
If BC3 and BC5 are indeed in situ find

anatomy had evolved in (or dispersed int
ornaments and abstract designs from B
behavior.
Q Springer
J Archaeol Res (2007) 15:1-54 7
Asia
The Near East before c. 50 ka BP
Although conceivable, the notion t

Israel (Vanhaeren et al., 2006) are
as discussed in the following sectio
evidence. McBrearty and Brooks (
association with Homo sapiens in
shown by Taborin (2003), the perfo
and they were used as recipients fo
is particularly important in level X
of this context, Hovers et al. (2003
but use wear analyses of broadly co
could have served more practical f
of hafting pastes), and that even w
(for instance, related to body pain
et al, 2004).
The occupation of the Near East
northeastern extension of African en
during OIS-4, after c. 75 ka BP. H
OIS-3 (after c. 59 ka BP) come fro
in Syria, and all are of Neandertals
skeleton buried in level Bl of Am
c. 53 ka BP (Kaufman, 2002; Rink
terminus post quern for the burial
modern humans in the region.
From the point of view of lithic te
with OIS-5 moderns and OIS-4 Nean
(Shea, 2003). Where symbolic artifa
ornaments is lacking, the regional
Paleolithic is equivocal at best: a "f
in the Golan Heights, and two eng
Quneitra, another Golan Heights op
The Berekhat Ram figurine is a
female body and is vaguely reminis
(Soffer et al, 2000). A recent stud
deliberate human modification (ab
that it served mere utilitarian pu
therefore, if symbolic, it relates t
natural pebble from the Middle Ac
by Bednarik, 2003a). The Qafzeh pi
Homo sapiens burials and consists
of incised lines on its cortical fac
concluded that they could not be a
with cutting tools (such as butcher
deliberate composition or part of
object, a tabular piece of flint cort
concentric semicircles surrounded
la Springer
8 J Archaeol Res (2007) 15: 1-54
to 40-55 ka BP, which means that,

latest Neandertal or the earliest "m
The Near East after c. 50 ka BP
From level 1, at the bottom, to level

the Negev desert (Marks, 1983; Mar
regional technological transition fr
to levels XXI-XXV of the long sequ
key site for the transition in the
1988). Typologically, these assembl
triangular, morphologically "Levallo
thinning retouch of the base. In th
index fossils of this assemblage typ
are considered part of a single N
Initial Upper Paleolithic (IUP) (Bar
Two conventional charcoal dates fo
47 ka 14C BP, in spite of their large
for uppermost level 4. The latter mu
result of 35,055 ± 4100 14C BP (S
humâtes could not be extracted, w
(Marks, 1983) (Table 1). No dates
contemporaneity with the Negev sit
result of c. 44 ka 14C BP obtained
XXVI (Bergman and Stringer, 198
The southern Turkish cave site o
a better fix on the chronology of th
identical to that in Ksar 'Akil lev
spectrometry (AMS) radiocarbon
41 ka 14C
At Uçagizli, BP interval.
the IUP is followed by the Early
Ksar 'Akil, such Early Ahmarian
stratigraphically and technologica
indications of continuity are furth
from uppermost T level 4 of Boker
Boker A, which is clearly of Early
Two conventional charcoal results o
with the single finite date of 37,9
large standard deviation of the latt
evidence that places the Early Ah
approximately in the 36-35 ka 14C
features a single platform, soft-ha
prismatic cores in the framework
characterized by the so-called El- W
small blades and laterally bear dire
one of the blank's edges.
At Kebara Cave in northern Isr
somewhat older dates (as early a
1996). However, the results are w
d Springer
J Archaeol Res (2007) 15:1-54 9
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J Archaeol Res (2007) 15: 1-54 1 1
OxA-1567; Hedges et al., 1990) was ob

itagrees well with the Chronometrie
Ksar'Akil. The excavators report pro
where the Kebara samples came, an
component derived from underlying
with the fact that in the western par
1.5-m-wide erosional channel cut into
may also explain why no IUP contex
The available chronostratigraphic
approximately in the 36-44-ka 14C B
two millennia, c. 36-35 ka 14C BP. I
personal ornamentation, abundantly
sites of Ksar 'Akil and Ücagizli (Fig
evidence is that from level H of Uçag
According to Kuhn et al (2001), all s
Early Ahmarian, are perforated mari
(-Arcularia) gibbosula, Columbella
discussed for Qafzeh, are more likely
Excluding them from the counts, 1 9
'Akil, 75% N. gibbosula and 11% C. ru
levels XIV-XVIII are 364, 53%, and
levels of Ücagizli is 108, but the tot
single species, N. gibbosula (Kuhn, p
The only evidence concerning the
"Egbert," a juvenile modern human s
1 1.46 m below datum; this elevation
strata between level XVI
and the ba
skeleton is now lost (only a cast of th
London), so direct dating is impossib
from overlying occupations cannot
thethickness of the deposits (the bon
surface of the uppermost unquestion
that possibility. No counterparts of t
is not unreasonable to assume, on the
between the latest IUP and the Early
also made the former. However, it ca
the lesson from the Near Eastern rec
exists between archaeological culture
when interpreting the evidence from
Vanhaeren et al. (2006) argue that the
layer B (which contained the remains
that their age should be in the rang
such bead from Oued Djebbana (Alger
similar age. If their arguments are co
years earlier than suggested by the e
the chronology of the Aterían and Sk
estimated to fall in the 35-90 ka BP r
the U-Th chronology (Grün et al, 2005
indicate that two periods are repres
IS Springer
12 J Archaeol Res (2007) 15: 1-54
in the 30-50 ka BP interval. Becaus

both cases, and because the IUP fea
quite possible, and at least cannot be
from Skhul and Oued Djebanna, in
contemporary with those from Uça
Russia and central Asia
IUP-like assemblages are known in the Altaï and other parts of central Asia in association
with dates as early as c. 43 ka 14C BP. Given the arguments in favor of an association of
the Near Eastern IUP with modern humans, it is conceivable that such occurrences represent
a further range extension of the latter into more northern latitudes, but the issue remains
controversial (Krivoshapkin and Brantingham, 2004; Rybin, 2004). Because the directly
dated human material (mandible and postcrania) from Tianyuandong (near Beijing, China)
documents people with a modern anatomy in the Far East c. 35 ka I4C BP (Trinkaus, 2005),
in broad contemporaneity with Ksar 'Akil's "Egbert," it makes sense to assume that the
intervening regions of central Asia and the Altaï also were settled by modern humans at that
time. Conversely, if Neandertals still inhabited the Near East c. 50 ka BP, as suggested by
the Amud data, any spread of modern humans into central Asia via a Near Eastern route can
have occurred only at a later date. In sum, the replacement process must have taken place in
central Asia somewhere between c. 50 and c. 35 ka BP but, as in the Near East, constraining
it with greater precision is impossible at present.
In any case, one can certainly expect modern human groups dispersing out of Africa
to have carried with them the social organization and corresponding sociofacts that their
ancestors had developed. A rather convincing indication that an influx of ultimate African
origin is involved in the East Asian process is provided by the presence of ostrich eggshell
beads in the Mongolian site of Dörölj 1 (Jaubert et al, 2004), dated to c. 32 ka 14C BP.
A clear connection with cultural developments in the Near East also is apparent a few
millennia earlier in sites west of the Urals. For instance, a perforated Colunibella shell,
modern representatives of which are confined to the Mediterranean basin, was recovered
in cultural layer IVb (well dated by AMS on charcoal samples to c. 36.5 ka 14C BP) of
Kostenki 14 (Markina Gora), now situated more than 700 km from the shores of the Black
Sea (Sinitsyn, 2003, 2004). Although the technological and typological features of the lithic
assemblage recovered therein are of a full Upper Paleolithic nature, its cultural affinities
remain unclear, and an isolated tooth is reportedly of modern human affinities. Sinitsyn also
describes an apparently shaped piece of mammoth ivory recovered in this level as "the head
of a female figurine"; he acknowledges, however, that "the surface is covered with traces
of natural damage" and that the object is "an obviously unfinished product broken during
manufacture." Thus, as with the Berekhat Ram figurine, the art may well be "in the eye of
the beholder."
At an even earlier date, bone tools and ornaments are reported by Derevianko and Rybin
(2003) from IUP-like contexts in Denisova cave (layer 1 1) and Kara-Bom (Horizon 5), but
the actual anatomical affinities of the manufacturers of these assemblages are unknown,
and the ornaments (animal tooth pendants and bone beads) are not of the kind seen in the
Near East at that time (when only marine shell beads were in use). Moreover, the exact
stratigraphie provenience of the finds is not devoid of ambiguity. A major discontinuity
separates OIS-3 layer 1 1 of Denisova from the immediately overlying OIS-2 level 9, and
the contact between the two is significantly disturbed. Because the range of ornaments from
level 1 1 is identical to that found in both level 9 and the pockets containing level 9 lithics that
ti Springer
J Archaeol Res (2007) 15:1-54 13
penetrated deeply into level 11 (Der

with the IUP is questionable. At Kara-
and a
pear-shaped bone bead) was fo
amounts of goethite pigment; this fe
1987 by Okladnikov in his Stratum
level 6," which contains Occupation
dated on charcoal to c. 43 ka 14C BP
in the same lithological unit is the
14C BP). The excavation plan (Derevi
depression with the pigment and th
scatter associated with the hearth, an
cache. Stratigraphically, this cache w
two are not necessarily coeval; all tha
and 5 provide a terminus post quern,
Europe
Symbolism in the Lower and Middle Paleolithic?
As in the Near Eastern, Russian, and central Asian regions reviewed above, the evi-
dence for symbolic artifacts before the Upper Paleolithic in European regions west of the
Russian/Ukrainian plains also is ambiguous. Where the Lower Paleolithic is concerned,
claims have been made that a small ensemble of animal bone remains from the open air site of
Bilzingsleben (Germany), dated to > 300 ka BP, are marked with motifs that carry a symbolic
meaning (Bednarik, 2003b; Mania and Mania, 1988; Meiler, 2003). The markings - groups
of fine strokes whose broadly parallel disposition indicates that they are unlikely to derive
from ordinary utilitarian activities such as butchering or cutting - are clearly anthropic; the
best piece, a percussion tool manufactured from a spall of elephant tibia, bears two groups of
marks, one with 7 strokes and another with 14, forming a suggestive rhythmical arrangement.
However, unlike the ochre pieces from Biombos, it is not evident that these markings were
made to obtain a predesigned graphic composition with a specific even if elusive meaning.
Where the Middle Paleolithic is concerned, two important objects come from the Hungar-
ian open air site of Tata, dated to > 70 ka BP (Moncel, 2003). One is a silicified nummulite
crossed at right angles by engraved lines on both sides, forming " + " motifs fully inscribed
in the object's circular outline (Bednarik, 2003b). The other is an ivory plaque carefully sep-
arated from a mammoth molar, shaped, beveled, and rubbed with red ochre. The edge-wear
polish indicates long-term use, and the overall shape evokes the sacred "churinga" (stones
or wooden boards associated with the wanderings of mythological ancestors) of Australian
Aborigines (Marshack, 1976, 1989). It is not obvious, however, that the engraving on the
nummulite is "decorative," and a utilitarian explanation for the "churinga" (bone tool used
in the framework of ochre-processing tasks?) cannot be excluded either. Representational
status has been claimed for a flint nodule featuring a natural tubular perforation into which a
bone splinter is wedged (Marquet and Lorblanchet, 2003); this "Neandertal face," however,
is most likely an unmodified pierre-figure, and natural process cannot be ruled out as an
explanation for the wedged bone (Pettitt, 2003).
Clear evidence for complex abstract thinking involving graphic modification of objects
in connection with ritual activities comes from the Mousterian graveyard of La Ferrassie in
France (Defleur, 1993; Peyrony, 1934) (Fig. 3). Seven individuals (one fetus, two infants, two
children, and two adults) were buried in the Ferrassie Mousterian levels of this rocksheiter;
Í± Springer
14 J Archaeol Res (2007) 15: 1-54
Fig. 3 La Ferrassie: Above: Plan and profil

left, detail of the lower face of the stone slab
identical to those found in blocks scattered in
the stratigraphie sequence (see Fig. 10). Below
(after Peyrony, 1934, modified)
available dating evidence from southw

of this assemblage type all date to t
Ferrassie 1 individual, an adult male, w
bone fragment decorated with four se
3-5-year-old child, had three flint too
±3 Springer
J Archaeol Res (2007) 15:1-54 15
placed on top of his dead body, whi

slab whose inferior face was decora
La Ferrassie thus suffices to esta
Neandertals at least identical to tha
the fact
that no counterparts of t
Paleolithicof Europe is a major dif
the more significant because of E
research history. Moreover, their
and rocksheiter sites with favorabl
150 years precludes taphonomic exp
case, the absence of evidence shou
Upper Paleolithic culture-stratigrap
The earliest Upper Paleolithic of Eu

featuring lithic technologies that,
technological definition of the peri
In the Franco-Cantabrian region th
duction is oriented toward the produ
knives. In Italy and Greece, there i
some production of non-Levallois b
standardized backed microliths - th
all trimmed with sur enclume reto
per Paleolithic cachet is mostly due
Levallois blade blanks. In Moravia
terized by the production of mor
methods. Finally, in different part
to Poland, there is the Szeletian (a
by the production of blattspitzen,
points, plano-convex or, more typi
plexes come after the Bohunician
as the so-called Lincombian of Eng
Poland.
In the wake of the extensive taphonomic critique of the evidence by d'Errico et al. (1998),
Zilhão and d'Errico (1999, 2003a, b), Rigaud (2001), Bordes (2002, 2003), Teyssandier
(2003), and others, suggestions of a long-term contemporaneity between these earliest "tran-
sitional" Upper Paleolithic entities of Europe and the Aurignacian, based on radiocarbon
dates and on patterns of putative interstratification (Bernaldo de Quirós, 1982; Bordes and
Labrot, 1967; Champagne and Espitalié, 1981; Gravina et al, 2005), have now been largely
abandoned (Zilhão et al, 2006). In particular, the most vocal proponent of that notion
has himself recently conceded (Mellars, 2006) all the major points made by Zilhão and
d'Errico (1999, 2003a, b) on the issues of interpretation raised by the application of radio-
carbon to this time range. Once the numerous sources of error are adequately filtered, a
clear picture emerges (Zilhão, 2006a, b, c). (1) The "transitional" technocomplexes either
underlie or predate the earliest occurrences of the Aurignacian anywhere in Europe. (2)
The development of these technocomplexes took place in the interval between c. 45 and c.
35 ka 14C BP, whereas the earliest Aurignacian dates to no more than c. 36.5 ka 14C BP
(Table 2). (3) The slight Chronometrie overlap is an inevitable consequence of the poor
precision of dating techniques and of the fact that the Châtelperronian is almost entirely
±3 Springer
16 J Archaeol Res (2007) 15: 1-54
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18 J Archaeol Res (2007) 15:1-54
dated on samples of bone that were

tion technique (Bronk Ramsey et
the Grotte du Renne is a particula
possible that the Jerzmanovician/Li
European plains at the time of the e
south, and it is certain (contra Jor
much later in Iberian regions south
2000, 2006a).
Recent technological studies in F
2000) have also confirmed traditio
Moreover, the evidence now clear
defined by G. Laplace and Italian au
to be a cultural/geographic Medit
2002), corresponds instead to a ch
re-excavation of the key cave site
with the revised stratigraphy of
as in Italy and Spain, this Protoaur
the classical Early Aurignacian or
Yves points and long, slender Du
subtype, which are extracted from u
continuous reduction sequence for
split-based bone points and by th
the extraction of straight or curv
the subsequent Evolved Aurignaci
cores are thick "burins" (carinated
characteristic small, twisted blank
Dufour bladelets; other types of po
later facies, all with massive bases,
lozengic morphology - the Mladec
Late Neandertals, early moderns,
The chronostratigraphic framework

and its correlation with Near Easter
for the discussion on the cultural a
early-mid Upper Pleistocene eviden
of biunivocal correspondences betw
reservations do not apply in the sa
represented by the European contin
to have differentiated and evolved. A
the presence of modern humans is
fossil record by diagnostic skeleta
actors responsible for the features
At present, the earliest such mode
in the cave site of Oase (Romania),
b, 2006). The cave sites of Muierii
later modern human material (in
ensemble from the Moravian site
€i Springer
J Archaeol Res (2007) 15:1-54 19
Fig. 4 Chronostratigraphic correlation scheme

Europe and the Near East
^ Springer
20 J Archaeol Res (2007) 15: 1-54
direct dating of human teeth from

2005; Wild et al, 2005). Direct datin
traditionally considered to be of ear
are of Magdalenian, e Mesolithic, or
et al, 1999; Svoboda, 2003; Svoboda
In western Europe, the only diagno
14C BP are at present the juvenile
2005). The Les Rois sequence belong
Quina material comes from level 3 o
Early and Evolved Aurignacian level
modern testing work, yielded an A
256)(Dujardin, 2001) that provides a
material from the Aurignacian I lev
be of modern human affinities, but
Henry-Gambier et al, 2004). In any
dating context, none of these French
Conversely, nowhere in Europe nor
been found for which an age postd
Two putative exceptions for which
been reported: the material from
et al, 1999) and the infant skeleton f
(Ovchinnikov et al, 2000). Where the
that the skeleton was found below i
BP and that the direct date for the
being significantly earlier (Golova
lines of reasoning also indicated that
inference has now been vindicated b
This evidence is consistent with the
record of Europe
th (except parts of
anatomically modern people; by th
assume that the technocomplexes of
Protoaurignacian) were manufactur
Sound evidence for this scenario is
tionably Neandertal affinities of (1)
rocksheiter, TL-dated to 36.5 ± 2.7 k
(2) the fragmentary dental and crania
du Renne at Arcy-sur-Cure (Baile
Vandermeersch, 1980). This conclusi
to c. 38^41 ka ]4C BP (i.e., in the t
Neandertal remains from the El Sid
Cantabrian region to which the Ch
et al, 2005). Human remains assoc
teeth found in level E of the Caval
cusp morphology, and taurodontism;
andertal deciduous molars but has
suggesting that the most parsimoniou
to Neandertals as well (Churchill an
In central Europe, several importan
from the type site itself, are directly
^ Springer
J Archaeol Res (2007) 15:1-54 21
Fig. 5 Key sites documenting the archaeolog

(inIberian regions south of the Ebro basin, N
in Europe). Above: Latest reliably dated Ch
with Neandertal remains reliably directly d
in Châtelperronian, late Micoquian, Szelet
Paleolithic archaeological contexts (squares
XVI and Roc-de-Combe; 4. Saint-Césaire; 5.
(Neander valley); 8. Sesselfelsgrotte; 9. Vin
dated Protoaurignacian and Early Ahmarian s
dated to within five millennia of the time o
Aurignacian and Early Ahmarian archaeolo
16. Les Rois and La Quina; 17. Esquicho-Gr
Muierii and Oase; 22. Ksar 'Akil; 23. Kebara
¿Ö Springe
22 J Archaeol Res (2007) 15: 1-54
about the biological affinities of th

Upper Paleolithic technocomplexes
lower Danube basin, where the you
found in uppermost Unit la of the
of Lakonis I in Greece (Harvati et
c. 38 ka 14C BP have been obtaine
situated east of the Rhone and beyo
at least in part, in the production of
the critical time period between c.
suggest that this is highly unlikely.
First, given the long and intensive
number of fossil human remains
probability that putative modern h
have remained undetected until t
above, we accept that the absence o
40 ka 14C BP should be considered
then derive a similar conclusion fro
early modern humans. Second, it s
humans into the European continen
signs of which should be visible in
and features of material culture. T
realms across the Middle to Upper
Where Greece is concerned, for i
the Uluzzian suggests that its mak
i.e., Neandertals. Although Panago
in the uppermost levels of Lakoni
those assemblages seem to be quit
in Unit VII of Klisoura 1, which u
continuity with it. In Germany, th
such that scholars to this day discu
functional variant of the former
2002; Uthmeier, 2000).
More recently, it has been argu
Bachokirian and the Near Eastern
modern humans in central Europe,
thus forming, after c. 39 ka 14C BP
etrating the surrounding Neande
b; Tostevin, 2003). Further suppor
like Glen and Kaczanowski (1982),
Kiro presented Neandertal affini
of size, shape, and crown morpho
than with the Neandertals. This
Aurignacian material because the
ofthe site is a taxonomically undia
molar.
The rationale to model the Bohun
assumes that it represents an intr
of the Boker Tachtit type and th
Neandertals. The last is reasonable
iy Springer
J Archaeol Res (2007) 15:1-54 23
the apparent break observed in the

that a gap of at least five and possib
the Bohunician and the preceding M
of Piekary lia and Ksiçcia Józefa
near Krakow, Poland, document the e
reduction strategies (at first alongsid
exclusion of any traditional Middle P
interval between c. 53 ka BP and c.
roots of the Bohunician any further
both Moravia and southern Poland).
The directly dated Oase mandible p
eastern Europe at the time of the Pro
linking the latter with modern human
geography occurred at that time. Bef
ing different early Upper Paleolithic
variants of the Middle Paleolithic. W
homogeneity across vast regions of so
Europe. Such a pattern of homogene
remarkable similarity between the P
technology but also in typology and
Ahmarian are exactly the same thing a
Cohen and Goring-Morris, 2003). Also
based points and carinated "scrapers
(Fig. 4). Because these two technocom
the cultural roots of the Early Ahma
sense to construe the Protoaurignac
opments into adjacent Europe, in co
modern humans into the continent an
fossil record.
It is also conceivable, however, that th

or a combination of both. For instanc
in the Near East might have found th
standardization of lithic barbs and po
sequently, they might have decided to
exchange networks. In this way, the
expanded into remote parts of the N
of anatomically modern people in t
the Protoaurignacian was invented a
populations occurred, followed by reg
moderns under the guise of the Early
toaurignacian was made by the Oase m
Neandertals in Cantabrian Spain, and
intermediate regions.
In sum, the combined weight of t
graphic, and radiometrie evidence sug
ous earlier Upper Paleolithic technoco
the cultural product of anatomically
the Evolved Aurignacian are the cultu
(3) the Protoaurignacian is related to t
^ Springer
24 J Archaeol Res (2007) 15: 1-54
tween Neandertals and moderns thr

of the cultural and biological inter
and the fossil evidence for extensiv
of contact between Neandertals an
the people who manufactured the
be resolved in simple dichotomic t
Ornaments before the Aurignaci
In Europe, the earliest personal

Altmiihlian, and Châtelperronian
(Fig. 6). Where the Bachokirian is c
type site: a spindle-shaped bone pen
and fragments of two pierced teeth
Europe, the evidence comes from
the Klisoura 1 sequence, in Greece,
to two different species (Koumouze
in the southern region of Apulia, y
in the lowermost Uluzzian (level
rustica shells also were recovered
Cesnola, 1993). Because clear Aurign
of Cavallo level D (Gioia, 1990), it i
represent an Aurignacian contami
only shell ornaments of the Italian
In central Europe the evidence is
provenanced to geological deposi
long, multilevel, open-air loess site
This level is overlain by charcoal
Haesaerts and Teyssandier, 2003; H
but non-Aurignacian (Teyssandier
to the contemporary "transitional
and southern Poland. The Altmiihl
Germany (Hülle, 1977) yielded a n
disc with a central hole that may
survives). In Belgium, a broken ivor
Magrite in all likelihood belongs t
ivory working. The excavations pr
components can be recognized (la
industries, and Aurignacian). In the
found in OIS-3 contexts must be A
generally considered to be of th
however, its size, manufacture te
identical objects from the French
The bulk of the evidence concer
comes from the French Châtelpe
Zilhão and d'Errico (1999). Even if
disturbance and contamination cann
the number of sites is still quite
ï3 Springer
J Archaeol Res (2007) 15:1-54
Fig. 6 Ornaments of the earliest U

perforated fossil gastropod from l
from level 1 1 (Bachokirian) of the t
(Ranis), Germany (after Felgenhaue
pendants from the Châtelperronian
phalanges; (g-j) bovid incisors; (k) r
modified)
Grotte du Renne (Arcy-sur-Cure). Level 7 of the Caune de Belvis cave in Mediterranean

France yielded a rather poor context with diagnostic Châtelperron points and two beads made
on fossil Turritella temprino shells (Taborin, 1993). The Quinçay rocksheiter (Leveque,
1993) is particularly important because contamination from overlying, later occupations can
be excluded as a potential explanation for the ornaments recovered in the Châtelperronian
levels because no such later occupations exist. The ensemble comprises six perforated teeth -
13 Springer
26 J Archaeol Res (2007) 15: 1-54
Fig. 7 Grotte du Renne (France). Left: Ivory r

level VII; bottom, the more complete of the t
Right: Châtelperronian bird bone tubes decor
1999, modified)
three fox canines, one wolf canine, a

same technique documented at the Gro
piercing the thinned surface with a
finally smoothing and enlarging the
Saint-Césaire burial contained several
1998) adds an unequivocal ritual dime
Neandertals.
For the key site of the Grotte du Renne (Figs. 6 and 7, Table 3), Taborin (2002) and
White (2002) recently resurrected the hypothesis that all the ornaments in Châtelperronian
levels VTII-X are intrusions from overlying Aurignacian level Vu. d'Errico et al (1998) had
already suggested that this was the case with three ivory beads from level VIII, identical to
those in level VII, and the same probably holds for a small ivory ring fragment from level
VIII, whose cross section (oval) and finishing (polished on the external faces) are identical
to those of five other fragments and the one complete, well-known fish-tailed ring from
the Aurignacian. However, the large majority of the ornaments (26) comes from level X,
more than 70 cm below the base of the Aurignacian, which yielded only four (seven if
you add those that are probably intrusive in level VDI). This distribution renders completely
untenable the notion that the ornaments in level X represent downward migration, particularly
because no evidence of a similar displacement has ever been documented in the realm of
¿ì Springer
J Archaeol Res (2007) 15: 1-54 27
Table 3 Ornaments from the Châtelperronian
Level Species Type Modification
VIII fox canine perforated

VIU horse incisor grooved
VIII Hyaena incisor grooved
VIH reindeer incisor grooved
IX fox canine grooved
IX reindeer incisor grooved
IX reindeer phalange perforated
IX reindeer/red deer canine perforated
X Bayania láctea fossil shell perforated
X Bayania láctea fossil shell perforated
X bear incisor grooved
X belemnite fossil perforated
X bovid incisor grooved
X fox canine grooved
X fox canine perforated
X ivory ring (fragment) grooved
X ivory ring (fragment) grooved
X marmot incisor grooved
X marmot incisor grooved
X reindeer incisor grooved
X reindeer metacarpal left grooved
X reindeer phalange perforated
X reindeer phalange grooved
X rhinoceros molar fragment grooved
X Rynchonella fossil grooved
X wolf canine (upper left) grooved
aNot included are four small ivory ring fragments from le

immediately overlying Aurignacian level VII, as well as a n
bear canine, and a unmodified tubular stalactite fragment.
that level's most abundant material culture item,

favor of the contamination hypothesis that the f
large angular rings of ivory with a rectangular
fact finished product and rough-outs, respectivel
last production stage would consist of the thinni
abrasion and polishing. The simple fact that, ac
one of the supposed rough-outs is 50% thinner th
4.6 mm) suffices to expose the inconsistency of th
that White eventually concludes that his analysis
objects [the Châtelperronian rings], including the
which suggests that the rings were indeed the int
±± Springer
28 J Archaeol Res (2007) 15: 1-54
Protoaurignacian ornaments
Even if significant and unquestion

Aurignacian occurrences that yield
is true of the Protoaurignacian and s
of personal ornaments, often in ver
concern here is with the origins of
detail; Vanhaeren (2002) and Vanha
view of the distribution of Aurignac
of the technocomplex.
In Italy, the rockshelters of Fuman
rignacian ornaments. At Mochi G (K
beads; the dominant taxon is Cy elop
reports one pierced incisor of a smal
of bone and soft stone, whose shap
very similar to those of the marin
thick Early Aurignacian level (stratu
(stratum G), and some level of uncer
been inevitable at the time of digg
in two fragments, one in cut 50 at
stratum F), it cannot be excluded t
relate to the subsequent Early Aurig
(1999), nonshell, basket-shaped beads
Périgord, a point also made by W
reported at Fumane is similar (Bro
650 marine shells were recovered in
in spite of the stratigraphie inversi
such shell ornaments from differen
occupation. Assigned to some 53 dif
lopoma sanguineum (also well repre
the total). Three red deer incisors, g
the only nonshell ornaments from
Given the evidence that the site was
was found at the top of the sequenc
half- levels D3-D6 - are in the 30.3
Protoaurignacian remains to be dem
were Homalopoma beads (Vanhaere
In France, the single-level rocksh
Protoaurignacian bead assemblage c
of which are perforated: Cyprea lu
Minia reticulata (2), and Nassarius
Other reportedly Protoaurignacian
schild rocksheiter (Fig. 8) and in U
Taborin, 1993; Tavoso, 1987). The f
400 beads, of which greater than 9
mollusk fossils. Finally, at the same
tions in the St. Martin chamber of
Aurignacian I-Aurignacian II sequ
duced area of the lowermost levels
±3 Springer
J Archaeol Res (2007) 15:1-54 29
Fig. 8 Protoaurignacian beads from the Ro

steatite bead; (c) Theodoxus fluviatilis; (d) C
(g) Hinia reticulata; (h, i) Dentalium; (j)
Nucella lapillus; (m) Aporrhaïs pespelecani
ornaments is sparse: pierced Littorina s

amber.
Given that the material from El P
red deer canine from level 7 (Aurig
Freeman, 1971) is the one ornament
Cantabrian Spain. In contrast with th
and Italian sites, the absence of shell
level 8 of Morin is concerned, because
documented by remains of edible m
1971). Ornaments also are rare in the
Triviapulex, three Dentalium fragme
including one Homalopoma sanguinea
L'Arbreda (Maroto, 1994).
The data from Mochi suggest clear co
Aurignacian, the latter retaining the sa
perforated marine shells. The evide
that the range of types becomes muc
basin and western Pyrenees, where si
areas, antler, bone, and ivory bead
animal teeth (especially fox canines, f
beaver, and reindeer, and wolf canin
therich assemblage from the Castanet
marine shell beads (both Mediterrane
Q Springer
30 J Archaeol Res (2007) 15: 1-54
asLittorina obtusata), perforated

ivorybeads, soft stone (manganese
incisors) (Taborin, 1993; Vanhaeren
to marine shell sources) is involved
Aurignacian I level of Fossellone c
ornaments were made of hard mamm
of deer antler) or of soft stone (ste
2002).
Earliest figurative art
The c. 40 ka 14C BP levels of Piekary Ila yielded two pieces of ochre with abstract de-
signs reminiscent of the Biombos material (Sitlivy et al., 2004). d'Errico et al. (2003b)
document regular markings in about one third of the 50 bone awls from the Grotte du
Renne's Châtelperronian levels, and in three of the five bird bone tubes from the same levels
(Fig. 7). Given their arrangement and distribution, the only explanation is deliberate decora-
tion. However, as in Africa or Asia, figurative representations are entirely unknown for that
time.
Numerous ochred cryoclastic fragments, including six slabs painted with motifs described
as zoomorphic in one case and anthropomorphic in another, are reported from the Fumane
sequence and have been evoked to support figurative art in a Protoaurignacian context
(Broglio and Gurioli, 2004; Broglio et al, 2002, 2003, 2004; Floss, 2005). However, it
is not clear that the motifs really are figures; they are more suggestive of an extension to
the inhabited space of the symbolic marking of objects with abstract signs documented in
preceding times in both Africa and Europe. More importantly, the painted stones all come
from either the uppermost Aurignacian levels or the immediately overlying collapse (Broglio
and Gurioli, 2004, p. 99); they are Aurignacian II, not Protoaurignacian, as are the dates for
the site's D3-D6 levels from where the slabs reportedly come.
The Austrian site of Strätzing (a.k.a. Galgenberg or Krems-Rehberg) yielded an anthro-
pomorphic statuette carved out of amphibolic schist, the "Galgenberg Venus" (Neugebauer-
Maresch, 1996, 1999). This piece comes from an Evolved Aurignacian context, documented
by the lithic assemblage and a nearby hearth dated to c. 31.8 ka 14C BP. In the Swabian
Alb of Germany, the famous lion-man statue from the cave site of Hohlenstein-Stadel was
recovered in spit 6, dated by four samples to c. 31-32 ka 14C BP (Conard and Bolus, 2003),
in good agreement with the nosed "scrapers" and bone points with a simple base in the
artifact assemblage (Hahn, 1977). The cave site of Vogelherd yielded ten figurines, of which
a felid comes from the backdirt of the 1931 excavations, and the others (a bovid, a horse, two
mammoths, three felids, an anthropomorph, and an unidentified quadruped) from levels IV
and V (Conard, 2003). The associated radiocarbon results (Table 4) cluster in the c. 32-33 ka
l4C BP interval, although some are slightly older and others much younger; this scatter is
easily understandable given the coarse nature of the stratigraphie work performed at the time
(Conard et al, 2004).
Thus, where the chronology of this art form is concerned, the key sites of southwestern
Germany are those excavated with modern techniques, Hohle Fels and Geissenklösterle. In
the former (Conard, 2003), all the art (a lion-man, a bird, and the head of a horse) comes
from levels Ed/base, m, and IV, dated to c. 30-31 ka 14C BP by 11 of 12 AMS dates. In
the latter, all finds come from the uppermost Aurignacian in Archaeological Horizon (AH)
II; Conard et al (2004b) provide ample evidence of a clear horizontal stratigraphy inside
îâ Springer
J Archaeol Res (2007) 15: 1-54 31
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J Archaeol Res (2007) 15: 1-54 33
Fig. 9 Distribution of the ivory figurines and

the Geissenklösterle cave (Germany), plotted ag
(the grid is in square meter units) (after Conar
with the ash lens in level üb, and the radiocarb
29.8-32.3 ka 14C BP range; the sculptures of a
this level, with the ivory sculptures of

in situ ash deposit (subunit lib) dated
come from the overlying, postdeposit
limestone fragment spalled from the c
preserve a painted black V-shape, but it
incidental human agency (Conard and
Counterparts of the German and Au
unknown in France and Spain. A piece
phic representation (hindquarters of a
the Hornos de la Peña cave, is of unc
the claims for mobiliary figurative ar
d'Errico, 2003b). However, in rockshelt
complete animal figures and signs, as w
wall and roof, were recovered in stratif
Q Springer
34 J Archaeol Res (2007) 15: 1-54
Fig. 10 Decorated blocs from the Aurig

Zcomorphic figures and vulvas associated
head with deeply engraved vulva figure on
Belcayre, Blanchard, Castanet, Cellie

information is secure, they come fr
the regional Evolved Aurignacian (Au
(Delluc and Delluc, 1978, 1991 ). The
the distal fragment of a bovid horn
see a phallic inte representation. The
questionable and has indeed been vi
such art experts as S. Reinach (Dell
The parietal art in two Ardèche ca
yielded five direct dates between 2
pigment used to paint animal figure
et a/., 2001). Although reasonable re
Züchner, 1999, 2001), the Aurignacia
with their similarity with the Germ
for this conclusion comes from the
(two felines and a bear) identified by
Stylistically and thematically close
figures is supported by the radiocar
on charcoal from a remnant of the
iä Springer
J Archaeol Res (2007) 15: 1-54 35
(Ambert et ai, 2005). At Chauvet, t

artisticactivity (Baffier and Feruglio
since the first episodes of decoration
were extensively prepared before the
representations would have been al
years, decades, or centuries before.
In Cantabrian Spain (Fortea, 2000, 200
La Viña feature a parietal decoration
At El
Conde, bone from a remnant
terminus ante quern for the art, and
the topographic relation between the
might well be of Aurignacian age.
excluded. Direct dating of black pun
Peña de Candamo cave yielded resu
the Gif laboratory; however, two sam
significantly younger results, in th
the same panel, the Muro de los Gr
23 ka 14C BP, it would seem that th
Aurignacian time interval is contami
One of the most widespread miscon
resides in the commonplace notion t
astonishingly precocious artists" (Si
umented artistic skills of the people
are no more "astonishing" than thos
consist simply of the same kinds o
with decorative or functional purpos
Aurignacian age (c. 32 ka 14C BP or l
Europeans until at least three radiocar
Oase people) are documented in the co
after the appearance of the first po
assemblages) of the immigration.
Explaining late Neandertal orname
Imitation (or acculturation)?
In theethnographic present, person

identity of persons - group member
(age, marital status, etc.) (Wobst, 1 97
encounters with strangers or people
(2001), "without some history of con
would be opaque to the viewer," and
one's affiliation or identity to fam
of ornaments in the archaeological
thresholds above which long-distanc
mating were necessary.
Working with such symbolic syste
viously requires cognitive capabilit
la Springer
36 J Archaeol Res (2007) 15: 1-54
chimpanzees. The evidence reviewe

predate by several millennia any ev
gration of anatomically modern pe
implications: (1) Measured by the s
MSA, European Neandertals were
vocal correspondence between a sp
African moderns belonged to the s
the strength of their morphologica
emerged independently among diff
dations for that behavior must have
African and European lineages. Whic
planations of the emergence of "beh
speciation event
P in the late Middle
Reconciling such explanations wit
the hypothesis that the ornaments
"imitation without understanding,
human populations (Hublin et al,
demonstration of the illusory nature
ifications (Bordes, 2002; Zilhão et a
evidence upon which such a notion c
the geographically closest area inha
from Boker Tachtit, Ksar 'Akil, and
This is too far away for close contac
distance, "bow wave" diffusion, alon
Brooks (2000), and Mellars (1999, 2
among Eurasian Neandertals after
In the biological and cultural geograp
what long-distance diffusion from t
before arriving in Neandertal Fran
expanses of terrain where only oth
uniting those different Neandertal
the closest potential Neandertal/m
Mediterranean (Fig. 5). It is clear, ho
survived the innumerous episodes
process if the individuals transmittin
its underlying meaning. The implica
only if one accepts that cognitive ab
among both the modern human sou
however, generates two major log
modelwas suggested as a way to bri
Neandertals in line with the notion th
the cognitive capabilities required f
in reality, it carries the implication
requires the exact kind of behavior
Second, the model is based on the no
species level, h their differentiation
by the establishment of long-lastin
barriers existed, how could they hav
ornaments represent the acquisitio
€i Springer
J Archaeol Res (2007) 15: 1-54 37
Africa over tens of thousands of years, h

notion that after c. 300 ka BP Neander
a separate species? Clearly, either Nean
is that symbolism emerged independen
by-product of diffusion from Africa, an
simply cannot have it both ways, i.e.
but at the same time complete cultural
of innovations!
At the empirical level, "long-distance diffusion" faces the additional problem that it also
proposes to explain the practice of ritual burial among Neandertals. However, the earliest,
uncontroversial instance of burial so far known is not that of a modern human but that of the
Tabun Cl Neandertal woman. Bar-Yosef and Callander (1999) argue that this is an intrusive
interment from overlying level B, but the fact that the loose right hand and wrist bones
recovered in level C are mirror images of the same left bones in the articulated skeleton
(Kaufman, 2002; Trinkaus, 1993) is not consistent with their hypothesis, nor is the direct
dating by ESR of tooth enamel sampled from the human skeleton itself, which indicates an
age between c. 1 12 and c. 143 ka cal BP (Grün and Stringer, 2000).
Independent invention?
Since long-distance diffusion requires that Neandertals had the same cognitive capabilities
as moderns, as a potential explanation for the facts it is not intrinsically superior to the
alternative view of independent invention put forward by d'Errico et al (1998), Zilhão and
d'Errico (1999), Zilhão (2001), and d'Errico (2003). Choosing between the two, therefore,
should be based solely on their respective empirical merits. And although future research
may change the picture, the data currently available are more consistent with independent
invention than with long-distance diffusion.
In fact, one of the most striking features of the record for early ornaments is that in
the IUP of the Near East it is entirely made up of perforated shells, for the most part
marine gastropods. Dentalium tubes are absent from the IUP, and they are not represented
in the subsequent Early Ahmarian either. In contrast, Dentalium tubes are the only securely
documented ornaments in the Uluzzian, where marine gastropods are entirely absent. This
contrast is puzzling because Uluzzian sites have the same coastal location as those from
the Near Eastern IUP, and, if the ornaments had been introduced to their cultural context
through diffusion from the latter, one would expect that the same kinds of objects had been
selected for the purpose. For instance, that some 90% of the shell beads in the IUP levels
of Uçagizli and Ksar 'Akil are Nassarius is a strong argument in favor of the notion that
this technocomplex stands for a cultural tradition of ultimate African origin: The earlier,
south African beads from Biombos are all made from another, nearly identical species of
that genus (Fig. 1 ). That the makers of these ornaments were selecting for a particular shape
and that this similarity of appearance is culturally meaningful are also suggested by the
fact that the other gastropod used at Ksar 'Akil, Colwnbella rustica, is of broadly similar
morphology.
That traditions relating to the choice of ornaments are long-lasting is further indicated by
the fact that in the long Protoaurignacian-to-Epigravettian sequence of the Mochi rocksheiter,
people consistently favored a very narrow range of shell sizes and shapes, "suggesting some
kind of shared aesthetic, yet one that lasted more than 20,000 years" (Stiner, 1999). Thus,
where sites in interior locations are concerned, if the earliest Upper Paleolithic of Europe was
related to diffusion from the Near East, one might further expect that fossil shells of similar
la Springer
38 J Archaeol Res (2007) 15: 1-54
appearance to those used for orname

replacements in th and sought after
imitations of appropriate shape an
lacking marine shells. This expecta
Small, basket-shaped bone and ivor
are unknown before the Protoaurig
the known instances of the use of fo
level X of the Grotte du Renne's C
consists of a fossil gastropod of el
a grooved Rynchonella, a perforat
Dentalium beads are tubes, not bas
hardly evocative of Nassarius. Ryn
with a clamlike but unhinged extern
mould, is a spherical object with no
with internal bullet-shaped shells
elongated external shell.
These interior sites, moreover, diff
ornaments are pierced or grooved b
Africa and are unknown in the Near
were not dictated by availability facto
of the MSA and the earliest LS A in
made their beads out of ostrich eggs
bones and teeth of the animals living
. was operating, it can only have bee
their images, which again refutes an
represent simple "copying," or "imi
no evidence for comparable diffusio
record, and given the evidence in fa
represented by the fact that the latte
to be considered by some as a differ
ornaments emerged in the two contin
toward "fully symbolic sapiens beha
This view also is supported by the
and the European records when pos
sonal ornaments in these early sym
BP, and with a single potential exc
African and Near Eastern ornaments
or perforated basket-shaped Nassa
at Biombos, all shells were found in
the same way as ostrich eggshell be
beadworks. d'Errico and Vanhaeren
evidence, that the homogeneity and
that they may have been exchange m
diversity of bead types and the patter
ning, characterize early European be
suggests they were markers of ethn
Such a difference in function is m
long-distance diffusion and further
preceding modern human cultural tr
^ Springer
J Archaeol Res (2007) 15: 1-54 39
Protoaurignacian displays features of

in the few instances of perforated
contexts (level G of Mochi, Rothsc
the subsequent Early Aurignacian o
Camalhot, La Ferrassie, Cellier, Bla
the abundant perforated Nassarius
and ivory beads imitating their sh
token, it is impossible to deny that
pendants and Dentaliwn tubes of th
represent a signature of continuity
the Châtelperronian and the Uluzzi
assemblages as reflecting the blendin
further support to the biological ev
and modern humans at the time of c
regions of Europe (Trinkaus, 2005).
Conclusion
Shennan's (2001) study of the relation between innovation and demographic growth showed
that the probability that innovations are retained is low when group size is small, because
the probability that their effects are advantageous as opposed to deleterious also is low.
The situation changes markedly when population increases, either through local demo-
graphic growth or through merger between previously isolated groups, and especially so
when long-distance contact is established, because that effectively enlarges the population
on a scale proportional to the square of the distance radius. Since both the archaeological
and the genetic evidence are consistent with significant population increase in Africa once
the cold and arid conditions pertaining throughout OIS-4 came to an end, Shennan con-
cludes that the most parsimonious explanation for the fact that cultural innovations with
occasional precedents became fixed and widespread only after that time is demography, not
cognition.
One does not need to go any further than this model to explain the European patterns.
The increase in the number of sites and the major northward expansion of the human
range document population expansion (and ensuing increased interaction) among OIS -3
Neandertals and suffice to explain why they eventually developed the practice of personal
ornamentation at about the same time it was re-emerging in Africa and expanding into
the Near East. Moreover, it also is clear that Shennan's line of reasoning also provides a
convincing explanation for the emergence of sculpted figurines and rock art in Evolved
Aurignacian times. Although the possession of artistic skills is often portrayed as proof
of the decisive cognitive advantage that gave moderns the edge over Neandertals in their
competition for Europe, the evidence reviewed in the preceding sections shows that figurative
art is as conspicuously lacking from cultural contexts conceivably related to those modern
human pioneers (the Protoaurignacian and the Early Aurignacian) as it is from the cultural
contexts of late Neandertals. Even if widely used, the argument of the cognitive superiority
of "those wonderful Cro-Magnon artists" as sufficient explanation for the demise of the
Neandertals is therefore completely inadequate if not grossly misleading.
The European record suggests that it was not until Evolved Aurignacian times that the
need was felt for systems of social identification/differentiation extending beyond the indi-
vidual to include the landscapes and resources claimed as territory by the different groups
¿3 Springer
40 J Archaeol Res (2007) 15: 1-54
to whom people advertised their a

cussed by Gamble (1983) and Gilm
explained as a consequence of adap
demographic growth and implying b
ulation of that competition. In suc
of the emergence of ceremonial be
resources and of the development of
or ideal ancestors. As the ethnograp
primarily stands for - embodying
(Bahn and Vertut, 1997; Layton, 199
resented manifestations of the sam
behavior.
The
emergence of these cultural t
thinking, and their emergence is of
with that of the underlying capabili
Brooks (2000) and d'Errico (2003) h
sophisticated behaviors among both
Middle and the early Upper Pleistoc
is concerned, it suffices to evoke th
that of body painting, using manga
I(Soressié?ía/., 2002).
Often overlooked is also the evidence
The German site of Königsaue, for i
complex fire technology by Mico
analysis of two fragments of birch
directly dated to > 44 ka 14C BP sho
hour-long smoldering process requir
of oxygen and at tightly controlle
2001).The Königsaue pitch is the fir
and this unique example of Pleisto
transmitted, and maintained in the
them; it certainly requires the enha
Coolidge and Wynn (2005), is the h
development and learning of such c
wood throwing spears from Schön
javelins used in field-and-track comp
basic laws of ballistics.
One must therefore conclude that the explanation for the emergence of ornaments and
figurative art resides in the realm of cultural, demographic, and social processes, not in that
of paleogenetics or paleoneurology. Because the particulars of nucleotide arrangements in
the DNA of fossil humans are themselves mute where issues of intelligence are concerned,
and given that soft tissue does not fossilize (which places speculations as to the nature and
consequences of putative functional reorganizations of the inner workings of the human mind
outside the field of testable scientific propositions), this is a rather fortunate conclusion for
paleoanthropology. It also is one that is consistent with the notion that the "hardware" for
"behavioral modernity" must have been in place as soon as the size and shape of the brain
case entered modern ranges of variation, and the cultural record documents behaviors that
require language, i.e., symbolic thinking by definition. The paleontological record (Lee and
Wolpoff, 2003; McHenry and Coffing, 2000) concurs in suggesting that such a rubicon had
¡y Springer
J Archaeol Res (2007) 15:1-54 41
already been crossed by c. 400 ka B

writing and computers - is history.
Acknowledgments The research and init

research stay at the University of Cologne
am particularly grateful to Nicholas Conard
Gerd-Christian Weniger, Bernhard Wenin
stay in Germany pleasant and productive.
information provided by many other colle
Paul Bahn, Ion Bãltean, Ofer Bar-Yosef,
Cortes, Francesco d'Errico, Francine David
Karavanic, Janusz Koztowski, Stephen Kuh
Ramón Montes, Anna Pazdur, Catherine Pe
Olga Soffer, Jifí Svoboda, Nicholas Teyss
Paola Villa, and Ralf Vogelsang for the in
Price originally invited me to write this rev
or omissions are my own.
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The Emergence of Ornaments and Art: An Archaeological Perspective on the Origins of

ORIGINAL PAPER ~~~~

The Emergence of Ornaments and Art:

Published online: 30 January 2007

Keywords Art • Modern humans • Neandertals • Ornaments

genome of living populations, whic

preliminary calibration possible,

Temporal and geographical patterns

Fig. 1 African personal ornaments: (a) m

BP, which is consistent with simila

In a secure Howieson's Poort cont

Fig. 2 Top: slab from the late MSA levels of A

If BC3 and BC5 are indeed in situ find

The Near East before c. 50 ka BP

Although conceivable, the notion t

to 40-55 ka BP, which means that,

The Near East after c. 50 ka BP

From level 1, at the bottom, to level

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OxA-1567; Hedges et al., 1990) was ob

in the 30-50 ka BP interval. Becaus

Russia and central Asia

penetrated deeply into level 11 (Der

Symbolism in the Lower and Middle Paleolithic?

Fig. 3 La Ferrassie: Above: Plan and profil

available dating evidence from southw

placed on top of his dead body, whi

Upper Paleolithic culture-stratigrap

The earliest Upper Paleolithic of Eu

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dated on samples of bone that were

Late Neandertals, early moderns,

The chronostratigraphic framework

Fig. 4 Chronostratigraphic correlation scheme

direct dating of human teeth from

Fig. 5 Key sites documenting the archaeolog

about the biological affinities of th

the apparent break observed in the

It is also conceivable, however, that th

tween Neandertals and moderns thr

Ornaments before the Aurignaci

In Europe, the earliest personal

Fig. 6 Ornaments of the earliest U

Grotte du Renne (Arcy-sur-Cure). Level 7 of the Caune de Belvis cave in Mediterranean

Fig. 7 Grotte du Renne (France). Left: Ivory r

three fox canines, one wolf canine, a

Table 3 Ornaments from the Châtelperronian

Level Species Type Modification

VIII fox canine perforated

aNot included are four small ivory ring fragments from le

that level's most abundant material culture item,

Even if significant and unquestion

Fig. 8 Protoaurignacian beads from the Ro

ornaments is sparse: pierced Littorina s

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